Vaekst Kapital ApS (“VKAP”, “we”, “our”, “us”) maintains a compliance framework designed to meet applicable legal, regulatory, and industry requirements for liquidity provision, collateralized lending, securities finance, and margin lending.
1. Regulatory Compliance
- AML/CTF: Anti-Money Laundering and Counter-Terrorist Financing controls, including customer due diligence and ongoing monitoring.
- KYC: Know Your Customer identification, verification, and risk-based review cycles.
- Sanctions: Screening against applicable sanctions lists and escalation procedures.
- Data Protection: GDPR-aligned processing, security, and data subject rights (see our Privacy Policy).
2. Ethics & Conduct
We require integrity, fairness, and professionalism. Bribery, corruption, market abuse, and conflicts of interest are prohibited and subject to disciplinary action.
3. Risk Management
We operate risk identification, assessment, mitigation, and monitoring processes covering credit, liquidity, operational, legal, and reputational risks, proportionate to our activities.
4. Client Due Diligence
- Risk-based onboarding and periodic review.
- Beneficial ownership identification and verification.
- Enhanced due diligence where required (e.g., PEPs, higher-risk jurisdictions).
5. Recordkeeping
Records are retained for statutory periods and in line with contractual and regulatory obligations, including AML/CTF evidence, transaction data, and communications.
6. Training & Awareness
Personnel receive periodic training on AML/CTF, sanctions, data protection, security, and conduct standards appropriate to role and risk exposure.
7. Reporting & Whistleblowing
We encourage reporting of suspected breaches or misconduct. Reports are handled confidentially and investigated promptly with appropriate remediation.
8. Third-Party & Outsourcing
Vendors and partners are subject to risk-based due diligence, contractual controls, and periodic oversight proportionate to the services provided.
9. Governance & Updates
This policy is reviewed periodically and may be updated to reflect changes in law, guidance, or our operations. See “Last Updated” above for the current version date.